4499
- Detailid
- Esmane info
- Ettevõte
Requirements
- University degree in Law/Business/Finance/Risk Management/Accounting/Economics or a related field;
- At least 4 years experience as part of a legal or compliance team of a regulated financial institution, with the financial regulator or with a law firm advising financial institutions on matters related to financial regulations and compliance;
- Excellent understanding of the EU and Estonian laws & regulations applicable to regulated investment firms (MiFID II, MAR, EMIR, MiFIR, GDPR etc.);
- Comfortable working in a high pressure international environment and working to strict deadlines;
- Strong command of the Estonian and English languages;
- Experience in the Forex or investment services industry is a strong advantage;
- International education or experience is a strong advantage.
Responsibilities & Duties
- We are hiring a Senior Compliance Manager as a permanent position, working as a member of a team assisting and reporting to the Head of Compliance.
- During the maternity leave period of the Head of Compliance, this position will also act as Deputy Head of Compliance, including:
- overseeing the Companys Compliance Risk Assessment and compliance programme (including a monitoring plan) corresponding to the Risk Assessment to ensure adequate mitigation and management of the Companys compliance risk;
- monitoring and assessing the level of compliance risk that the Company faces, taking into account the investment and ancillary services provided, as well as the scope of financial instruments traded and distributed.
- Developing, designing and drafting appropriate policies, procedures and controls, as required for the Company under applicable laws, regulations and guidelines. Performing regular review of the relevant internal framework documents.
- Monitoring the adequacy and effectiveness of the measures, practices, policies and procedures of the Company on a regular basis. Initiating and working on related changes to the aforementioned.
- Performing oversight and monitoring of EMIR and MiFIR transaction reporting, potential market abuse and insider trading, best execution, elective professional clients, conflicts of interest, MiFID II knowledge and competence requirements, inducements, product governance and new products approval etc.
- Ensuring adequate recording keeping and an overview that the agreements as well as the nature of the service provision by the outsourced party, including where the latter is a member of the same Group as the Company, is such that the Company controls the service provider and has the ability to control its actions.
- Evaluating the compliance risks and impact of the introduction of any potential new services or activities or any major changes to the Companys current services and activities, proposing the necessary risk management procedures and resolving any associated issues, as well as the issues relating to their monitoring.
- Reporting relevant compliance monitoring findings and recommendations or correction of any deficiencies to the Head of Compliance/ Management Board and/or Supervisory Board as appropriate.
- Providing compliance advice and support and drafting written reports to the Management Board and the Supervisory Board, as appropriate, highlighting key compliance metrics and issues as well as making recommendations and indicating in particular whether the appropriate remedial measures have been taken in the event of any deficiencies, as per the Compliance Policy.
- Liaising with all relevant business and support areas within the Group and providing relevant advice and support and day-to-day assistance to the Companys in-house and outsourced staff, as deemed necessary, including in relation to customer support, complaints management, marketing communication and product governance requirements.
- Training and educating the staff of the Companys in-house and outsourced staff in respect to key compliance issues, including the compliance function, client complaints handling, customer support, marketing communications, regulatory updates, provision of information to clients etc., according to the applicable laws, regulations and guidelines.
- Maintaining a close collaboration and communication with relevant authorities (particularly EFSA) and other counterparts. Documenting and managing regulatory communication, including preparing and submitting regulatory inquiry or questionnaire responses or reports to regulatory authorities in accordance with the regulatory requirements.
- Monitoring relevant regulatory developments across multiple jurisdictions and alerting the Management Board, Supervisory Board and any relevant staff as necessary. Highlighting most pertinent actions and actions needed to ensure timely compliance with new regulations.
- Acting as the Data Protection Officer of the Company and performing annual GDPR trainings.
- Oversight, advice and support regarding certain ICT and operational risks.
Selle ametikoha keskmise palga info leiad aadressilt palgad.ee.
Asukoht
- Tallinn, Harjumaa, Eesti
Tööaeg
- Täistööaeg
Oskused
Keeled
- Inglise
- Eesti
Kontaktisik
- -
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Plus500 is a global multi-asset fintech group operating proprietary technology-based trading platforms. Plus500 offers customers a range of trading products, including Contracts for Difference (CFDs), share dealing, and futures trading. Plus500 has a premium listing on the Main Market of the London Stock Exchange (symbol: PLUS) and is a constituent of the FTSE 250 index.
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